News & Events

Bates Group is a proud Sponsor of the FSDA’s 2025 Industry Outreach program “Riding the Waves of Possibility,” live and online April 10th from 1:30 PM to 5:00 PM at the Renaissance Boca Raton Hotel in Boca Raton, Florida.

Join Bates Group and Polsinelli on April 17 at 11 AM ET for a live discussion on crypto, fintech, and bank partnerships. Learn how to avoid legal pitfalls, navigate DeFi regulation, and prepare for what’s next in financial innovation.

Explore the latest compliance challenges and regulatory trends in Banking-as-a-Service (BaaS). Join industry experts from Bates Group, Nelson Mullins, Kraken, and Pacific West Bank for a live CLE webinar on April 15. Learn how to strengthen oversight, manage third-party risk, and future-proof your fintech partnerships.

2025 brings new complexity to the fight against financial crime. Explore the latest trends in AML, fraud, sanctions, and AI—including regulatory shifts and emerging threats—and discover how financial institutions can stay agile in a rapidly evolving risk environment.

Join InvestorCOM and Bates Group for a live webinar dissecting the Best Interest regulatory landscape and discussing actionable strategies to mitigate risks.

Bates Group Managing Director and Senior Growth Officer Brandi Reynolds, CAMS-Audit, CCAS, is quoted in a recent Bloomberg Tax article on the future of the Corporate Transparency Act following a major shift in reporting requirements from FinCEN.

An underperforming AML program poses regulatory and reputational risks for financial institutions. This article outlines how applying a structured root cause analysis can identify systemic issues across people, processes, and technology, guiding institutions toward targeted remediation and enhanced regulatory alignment.

Connect with Jason Fitch at the 2025 DC Blockchain Summit on March 26 in Washington, D.C. to learn more about Bates Group's consulting services, audits and reviews, training, and other compliance support for blockchain and digital asset businesses. 

The SEC has updated its Marketing Rule FAQs with key clarifications on extracted performance and portfolio characteristics. Advisers who advertise performance should review this guidance to ensure compliance with Rule 206(4)-1 and avoid misleading presentations.

Bates Group is a proud sponsor of the 2025 SIFMA C&L Annual Seminar, March 23-26, 2025 in Austin, Texas.

RIA acquisitions present vast growth potential—but success demands strategy. Learn how due diligence, synergy, and cultural alignment shape seamless transactions and drive long-term value creation.

Join us for a timely and insightful live webinar exploring the shifting regulatory and legal landscape for fintech, financial services, and consumer protection under the new Trump administration.

AI agents are revolutionizing the crypto market, automating trades, analyzing vast datasets, and optimizing decentralized finance. With AI-driven tokens gaining momentum, understanding the balance between hype and real utility is crucial. Explore how AI is shaping blockchain ecosystems and its future impact in our latest article.

In a recent article from InvestorCOM, Armin Sarabi shares key insights on the evolving fiduciary rule, compliance best practices, and technology’s role in staying ahead.

Join Bates Group at the 2025 IAA Investment Adviser Compliance Conference, March 5-7, 2025 in Washington, D.C. to learn about practical insights and best practices that can help you maintain a successful compliance program.

AI agents are transforming industries with autonomy, learning, and decision-making capabilities. Discover their types, applications, and ethical considerations in this comprehensive guide to the future of intelligent automation.